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KW

Kelly J. Wentzel

Some features on this profile are disabled
CRD#: 1552445
KW

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Kelly James Wentzel, who also goes by Kelley James Wentzel, was a registered financial professional .

Kelly is a previously registered financial professional and started their career in finance in 1986. Kelly had worked at 8 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kelley James Wentzel

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 27, 2016 - August 30, 2016

MOLONEY INVESTMENT ADVISORY LLC

RIA
CRD#: 282140
EARLHAM, IA
Past

November 4, 2014 - April 27, 2016

MOLONEY SECURITIES CO., INC.

RIA
CRD#: 38535
EARLHAM, IA
Past

November 4, 2014 - August 30, 2016

MOLONEY SECURITIES CO., INC.

BD
CRD#: 38535
MANCHESTER, MO
Past

March 3, 2003 - December 31, 2012

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

RIA
CRD#: 13609
EARLHAM, IA
Past

March 3, 2003 - November 4, 2014

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

BD
CRD#: 13609
EARLHAM, IA
Past

December 27, 1999 - March 28, 2003

RBC CAPITAL MARKETS, LLC

RIA
CRD#: 31194
WEST DES MOINES, IA
Past

March 2, 1998 - March 28, 2003

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY
Past

January 2, 1998 - March 2, 1998

DAIN RAUSCHER INCORPORATED

BD
CRD#: 7600
Past

July 2, 1993 - February 3, 1998

PRINCIPAL FINANCIAL SECURITIES,INC.

BD
CRD#: 260
DALLAS, TX
Past

June 1, 1988 - July 15, 1993

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

October 22, 1986 - June 9, 1988

DICKINSON & CO.

BD
CRD#: 689

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/27/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/30/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 3/15/1988
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 10/18/1986
General Securities Representative Examination

Current Firm

MI
MOLONEY INVESTMENT ADVISORY LLC
MOLONEY INVESTMENT ADVISORY LLC

CRD#: 282140 / SEC#: 801-107025

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Contact information

Main Address
13537 Barrett Parkway Drive Suite 300, Manchester, MO 63021
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

MOLONEY INVESTMENT ADVISORY LLC

CRD#: 282140

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